Administrative Proceeding File No. 3-19323

Respondents

Kelly, Sean


Release Date	Release Number	Other Release Numbers	Name of Document
April 28, 2022	34-94808	IA-6006	Opinion of the Commission
Nov. 29, 2021	34-93681	IA-5915	Order Directing Submission from the Division of Enforcement
Aug. 23, 2021	34-92733	IA-5829	Order Directing Submission from the Division of Enforcement
April 12, 2021	34-91538	IA-5716	Order to Show Cause
Oct. 6, 2020	34-90098	IA-5609	Order Regarding Service
Aug. 7, 2019	34-86595	IA-5316	Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing


Release Date	Release Number	Other Release Numbers	Name of Document
Dec. 28, 2021			Motion by Division of Enforcement for a Finding that Respondent is in Default and for Imposition of Remedial Sanctions with Exhibits 1-3
Aug. 7, 2019			Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Oct. 6, 2020			Order Regarding Service
April 12, 2021			Order to Show Cause
Aug. 23, 2021			Order Directing Submission from the Division of Enforcement
Nov. 29, 2021			Order Directing Submission from the Division of Enforcement
April 28, 2022			Opinion of the Commission